Securities and Futures Commission

Securities / Derivatives

SFC, HKEX Direct Investment Banks to Ensure Quality of IPO Applications

By Sanday Chongo Kabange | 10/12/2025

The SFC and HKEX have reportedly told investment banks to maintain standards as a surge in IPOs raises concerns about overstretched resources.

Enforcement

SFC Secures Insider Dealing Conviction Against Former Computershare VP

By Sanday Chongo Kabange | 05/12/2025

The former executive used non-public information about a failed corporate privatisation vote to avoid a significant stock market loss.

Enforcement

SFC Suspends Tung Tai Securities Executive Over US$3.3m Fraud

By Sanday Chongo Kabange | 04/12/2025

The SFC has suspended a senior manager for neglecting duties that enabled the fraud despite multiple clear warning signs.

Securities / Derivatives

Hong Kong SFC Streamlines Post-Authorisation Rules for UCITS Funds

By Sanday Chongo Kabange | 01/12/2025

The SFC has removed prior approval requirements for many scheme changes, aiming to boost efficiency and market competitiveness.

Trending

Hong Kong Regulators Direct Banks, Insurers to Aid Fire Victims

By Sanday Chongo Kabange | 30/11/2025

Authorities are calling on banks and insurers to provide flexibility on loans and claims, as financial firms donate millions for relief efforts.

AML / KYC

Hong Kong SFC Issues AML Warning as JFIU Prepares New STR Platform

By Sanday Chongo Kabange | 28/11/2025

The SFC has detailed expected controls to combat layering via brokerages and virtual assets, as HKPF prepare to launch a new system for reporting suspicious transactions.

Sanctions

Hong Kong Licensed Lender Linked To Sanctioned Prince Group – Report

By Sanday Chongo Kabange | 27/11/2025

An associate of sanctioned Prince Group's Chen Zhi is tied to a licensed money lender that holds a mortgage over shares in a Hong Kong-listed firm.

Crypto / Digital Assets

Hong Kong SFC Details Regulatory Push on Private Credit, AI, Digital Assets

By Sanday Chongo Kabange | 26/11/2025

SFC chief outlines new OTC reporting rules, 'human in the loop' AI policy, and final steps for digital asset framework.

Enforcement

Hong Kong ICAC Charges Ex-HKEX Executive in Bribery Probe

By Sanday Chongo Kabange | 25/11/2025

Hong Kong's ICAC has charged a former HKEX executive with accepting bribes to leak confidential company information.